Thomas Lapointe is a registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
751 Watertown Ave., Waterbury, CT, 06708
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Thomas operates Coleman Financial Advisory Group LLC as a DBA for his LPL business, dedicating full-time hours to it. He also works as a notary, spending minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
Ameriprise Financial Services, LLC.
Ameriprise Financial Services, LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
American Skandia Marketing, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Metlife Securities INC.
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.